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A NARA Survey 



Records 
Management 
Automation In 
Federal Agencies 



National Archives and 
Records Administration 
Office of Records Administration 
Washington, DC 
1994 





















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A NARA Survey 


Records 
Management 
Automation In 
Federal Agencies 



National Archives and 
Records Administration 
Office of Records Administration 
Washington, DC 
1994 












Table of Contents 


Executive Summary.1 

Introduction.3 

Background and Purpose.3 

Methodology and Scope .3 

Structure of Report.3 

I. Records Management Functions.5 

Overview Of Records Management Functions.5 

Automation Of Records Management Functions.6 

Conducting an Inventory.6 

Developing File Plans and Labels.7 

Monitoring the Use of Records.8 

Preparing Records Control Schedules.8 

Tracking Inactive Records in Storage.8 

Overview of Records Management Functions.9 

Automation of Records Management Functions.10 

Conducting an Inventory.11 

Developing File Plans and Labels.11 

Monitoring the Use of Records.12 

Preparing Records Control Schedules.12 

Tracking Inactive Records in Storage.12 

II. Agency Examples. 15 

Air Force, Department of Defense.15 

Bureau of Labor Statistics, Department of Labor.18 

Bureau of Reclamation, Department of the Interior.20 

Environmental Protection Agency .20 

Federal Bureau of Investigation, Department of Justice.22 

Forest Service, Department Of Agriculture .23 

General Accounting Office.24 

Resolution Trust Corporation .25 

Social Security Administration/Department of Health And Human Services.26 

Tennessee Valley Authority.27 

III. Observations.29 

Appendix A: Survey Questions.31 

AppenddcB: Menu, Screen, and Report Samples.35 

Appenddc C: Summary Table.65 

























































* 



















Executive Summary 


In fiscal year (FY) 1992 the National Archives and Records Administration 
(NARA) conducted a survey to determine how Federal agencies were using 
automation to facilitate and enhance their records management programs. 
The purpose of the survey was to share this information among agencies, 
not to evaluate the reasons agencies automated or their success in doing so. 

The survey included selected agencies known to have automated, or to be 
in the process of automating, at least one key records management function. 
These agencies are illustrative only. The survey was conducted using inter¬ 
views, either onsite or by telephone and was based on a standard set of 
questions. It included demonstrations of the automated systems where 
possible. 

Records management functions are associated with the three stages of the 
life cycle of records — creation or collection, maintenance and use, and 
disposition. Functions that are automated by agencies covered in the survey 
are conducting a files inventory, developing file plans and labels, monitor¬ 
ing the use of records, developing records control schedules, and tracking 
inactive records in storage. 

Automated records management functions of the following 10 agencies are 
described in detail: Air Force, Department of Defense; Bureau of Labor 
Statistics, Department of Labor; Bureau of Reclamation, Department of the 
Interior; Environmental Protection Agency; Federal Bureau of Investigation, 
Department of Justice; Forest Service, Department of Agriculture; General 
Accounting Office; Resolution Trust Corporation; Social Security Admini¬ 
stration, Department of Health and Human Services; and Tennessee Valley 
Authority. 

Because this report's purpose is to compile and disseminate information 
rather than to evaluate, it includes observations, rather than recommenda¬ 
tions. 

Although conducting the records inventory is the most labor-intensive part 
of any records management program, experience with automating the 
inventorying process is extremely limited. (Only one example is in the 
survey.) However, the proliferation of very lightweight portable computers 
means that more widespread application of automation to the inventory 
process may be feasible. 


NARA Automation Survey 1 






No convenient mechanism currently exists for multiple agencies to share 
and benefit from the experiences of agencies that have completed automat¬ 
ion initiatives. However, NARA will establish a users' group by the end of 
FY1994 of interested agencies to meet this need. 


NARA Automation Survey 2 


Introduction 


Background and Purpose 

The Office of Records Administration of the National Archives and Records 
Administration (NARA) conducted a Records Management Automation 
Survey in 1992 to gather information about how Federal agencies are using 
automation to facilitate and enhance their records management programs. 
NARA is making the survey results available to assist agencies in identify¬ 
ing others who are working on or who have solved similar problems. This 
survey was not designed to evaluate the reasons agencies automated, the 
selection of functions to automate, the choice of hardware or software, or 
agencies' success in automating. Therefore, this report does not contain 
recommendations for any of the surveyed agencies. Rather, the report 
concludes with general observations on the task of automating records 
management and commits NARA to the establishment of a users' group to 
foster the automation of records management functions. 


Methodology and Scope 

The survey covered selected executive branch agencies known to have 
automated, or to be in the process of automating, one or more key records 
management functions. The agencies included are meant to be illustrative 
only. 

A standard set of questions was developed for the interviews (Appendix A). 
These interviews were conducted onsite or by telephone and, in some cases, 
were followed by visits to the agency for a demonstration of the automated 
system. 


Structure of Report 

Part I identifies records management functions throughout the records life 
cycle and describes automation of selected functions in detail. Part II de¬ 
scribes Federal agency records management automation activities in se¬ 
lected agencies. Part III provides observations on automating records 
management. Appendixes include the survey questions, the list of agencies 
surveyed, and examples of electronic menus, screens, and reports used by 
the agencies surveyed. 


NARA Automation Survey 3 







NARA Automation Survey 4 


L Records Management 
Functions 


Overview of Records Management Functions 

Records have a life cycle that includes creation or collection, maintenance 
and use, and appropriate disposition for each identified logical grouping of 
records (the series). Discrete records management functions can be identi¬ 
fied for each life cycle stage. 

The creation or collection stage includes those functions each agency takes 
to fulfill its statutory requirement to make and preserve adequate documen¬ 
tation of its activities and to protect the legal and financial rights of both the 
Government and individual citizens. This stage includes identifying the 
agency's recordkeeping requirements and conducting an inventory of 
agency files and information systems. 

The maintenance and use stage covers all functions involving the choice 
location of records and their storage, retrieval, and handling. Typical func¬ 
tions are developing and maintaining a file plan and file labels (not limited 
to paper records); monitoring and tracking the use of records through 
chargeout and control mechanisms; providing access to records; providing 
backup or offsite copies as appropriate, such as is done for records identified 
as "vital"; and developing the records control schedule, which identifies an 
appropriate retention period, and following approval by the Archivist of the 
United States, provides authority for disposition of the records. 

The disposition stage covers the implementation of the records control 
schedule—in other words, executing the appropriate steps when records are 
no longer needed in office space to conduct current agency business. 

Disposition does not always mean destruction. For those records with a 
temporary retention value, disposition often includes moving the records 
to a location where storage costs are lower for a specified period. For 
records no longer needed by the Federal Government, disposition can mean 
donation to another institution. For records with enduring value, disposi¬ 
tion also means transfer to the National Archives, where they are made 
available to reporters, scholars, historians, genealogists, and other re¬ 
searchers. 

Thus, functions of the disposition stage include transferring records to 
agency storage facilities or Federal records centers; tracking inactive records 
in storage; and transferring records that have enduring value (those records 
appraised by NARA as permanent) to the National Archives. 


NARA Automation Survey 5 





Automation of Records Management Functions 

This survey does not include an automated example of every records 
management function. For example, of the agencies included in the survey 
not one is using automated tools to identify, inventory, track, or update its 
vital records. Also, agencies are not correlating recordkeeping requirements 
(such as might be identified in enabling legislation or agency regulations) 
with their file plans or information inventories. Some functions are of course 
easier to automate than others. 

Functions that are automated by agencies covered in the survey are: 

conducting a files inventory, 
developing file plans and labels, 
monitoring the use of records, 
preparing the records control schedule, and 
tracking inactive records in storage. 

In addition, some of the systems in place at agencies include correspondence 
tracking modules (such as those needed to meet Freedom of Information 
Act and Privacy Act requirements), but they are not described in detail in 
this report because they are tangential to the records management concerns 
ofNARA. 

The following sections detail the functions that have been automated by the 
surveyed agencies. Agency-specific experiences in automating these func¬ 
tions are described in the case examples (see Part II). 


Conducting an 
Inventory 


A comprehensive records inventory is a critical component of a sound 
records management program. Through the inventory process, an agency 
identifies records in a systematic way to facilitate the efficient organization 
of records, the analysis of records' value, and the eventual development of 
filing systems and records schedules. 

During an inventory the following information is usually identified: 


Date of inventory 
Person doing inventory 
Series title 
Inclusive dates 
Medium 


Location of files 
Series location 
Disposition Authority 
Series description 
Arrangement 


NARA Automation Survey 6 



Volume 

Cutoff and transfer dates 
Vital records status 
Finding aids (if any) 


Annual accumulation 
Reference activity (after cutoff) 
Duplication 

Restrictions on access and use 


Developing File 
Plans And Labels 


Condition of permanent records 

An automated files inventory can be conducted onsite in a relatively short 
period of time by a small group of specially trained individuals using 
portable data collection devices. There are a number of advantages to 
automating this process: 

(1) There is consistency of input because of the small number of 
individuals assigned to the project. 

(2) Edit-checking can be built into the data collection devices, thereby 
minimizing erroneous entries and ensuring that essential information is 
collected. 

(3) More consistent overall results are achieved by completing the 
survey within a relatively short time. 

(4) Survey data is collected in a machine-readable format so that 

(a) data collected is more easily sorted and summarized, and 

(b) information collected can be more readily converted and linked to an 
automated records control schedule. 

(5) The danger of losing manual data collection forms is eliminated. 

Agendes performing a records inventory may wish to consider applying 
bar-codes to files during the inventory to facilitate the future development 
of an automated records chargeout. 

The records inventory process is a fundamental component of an effective 
records management program. Automating this process can have a wide- 
ranging impact on all phases of records management. 

A simple data-base application that can concurrently produce a file plan and 
file labels from the same data base can be easily implemented in just about 
every office. A further evolution of this type of system is the development 
of an adjunct data base that can also produce labels with disposition 
instructions for each file folder. 


Developing File 
Plans And Labels 


NARA Automation Survey 7 


Monitoring The Use 
of Records 


Preparing Records 
Control Schedules 


Tracking Inactive 
Records In Storage 


Agencies may wish to track records activity at a variety of levels— docu¬ 
ment, folder, subseries, accession, and series or box. In most Federal agen¬ 
cies manual tracking systems will suffice if they are rigorously monitored. 
In some instances, however, a high volume of reference activity and a great 
need for immediate access to information may make an automated system 
appropriate. With such a system, an agency may track such information as 
the record identification number, summary information about the record, 
the person requesting the record, telephone number and office of the re¬ 
quester, the date the record was charged out, and the date the record was 
returned. A document control and chargeout system might also include 
reports such as a listing of outstanding material or a history of reference 
activity. It can be applied to either active or inactive records. 

Several Federal agencies have converted their records control schedules to 
electronic format. A few agencies undertook this conversion purely to 
facilitate distribution and to ensure that the most recent edition of the 
schedule was being referenced throughout the agency. In most cases, how¬ 
ever, the schedule was developed in a data base shell, allowing for multiple 
levels of indexing and keyword searching. In a full-functioning automated 
records management system, the automated records control schedule 
would come directly from the data collected in an automated inventory. If 
the agency file classification system matched the agency records schedule, 
an automated file plan and labels module could also be linked to the records 
control schedule. 

Many agencies store inactive records awaiting final disposition action in 
Federal records centers (FRC's) or agency records holding areas. In most of 
these cases, the inactive records are stored in groups (accessions) according 
to the series and cutoff date of the records. Although these records are called 
inactive, there are legal or other requirements to preserve them, and there 
is an occasional need to access them. For these reasons, agencies need to 
maintain the following information about these records: 

Identification of all records retired to storage; 

identification of the location of these records; and 

tracking of records temporarily removed from storage. 

In an automated system, this information must be promptly retrievable in 
order to provide adequate access to materials in offsite storage. In addition, 
an agency may wish to use this type of system to record all data items 
required by the FRC's for the Standard Form (SF) 135, Request for Records 
Transmittal and Receipt and use this information to generate an automated 
SF 135.1. 


NARA Automation Survey 8 


Overview of Records 

Management 

Functions 


Records have a life cycle that includes creation or collection, maintenance 
and use, and appropriate disposition for each identified logical grouping of 
records (the series). Discrete records management functions can be identi¬ 
fied for each life cycle stage. 

The creation or collection stage includes those functions each agency takes 
to fulfill its statutory requirement to make and preserve adequate documen¬ 
tation of its activities and to protect the legal and financial rights of both the 
Government and individual citizens. This stage includes identifying the 
agency's recordkeeping requirements and conducting an inventory of 
agency files and information systems. 

The maintenance and use stage covers all functions involving the choice 
location of records and their storage, retrieval, and handling. Typical func¬ 
tions are developing and maintaining a file plan and file labels (not limited 
to paper records); monitoring and tracking the use of records through 
chargeout and control mechanisms; providing access to records; providing 
backup or offsite copies as appropriate, such as is done for records identified 
as "vital"; and developing the records control schedule, which identifies an 
appropriate retention period, and following approval by the Archivist of the 
United States, provides authority for disposition of the records. 

The disposition stage covers the implementation of the records control 
schedule—in other words, executing the appropriate steps when records 
are no longer needed in office space to conduct current agency business. 

Disposition does not always mean destruction. For those records with a 
temporary retention value, disposition often includes moving the records 
to a location where storage costs are lower for a specified period. For 
records no longer needed by the Federal Government, disposition can mean 
donation to another institution. For records with enduring value, disposi¬ 
tion also means transfer to the National Archives, where they are made 
available to reporters, scholars, historians, genealogists, and other re¬ 
searchers. 

Thus, functions of the disposition stage include transferring records to 
agency storage facilities or Federal records centers; tracking inactive records 
in storage; and transferring records that have enduring value (those records 
appraised by NARA as permanent) to the National Archives. 


NARA Automation Survey 9 


Automation Of 
Records Management 
Functions 


Conducting An 
Inventory 


This survey does not include an automated example of every records 
management function. For example, of the agencies included in the survey 
not one is using automated tools to identify, inventory, track, or update its 
vital records. Also, agencies are not correlating recordkeeping requirements 
(such as might be identified in enabling legislation or agency regulations) 
with their file plans or information inventories. Some functions are of course 
easier to automate than others. 

Functions that are automated by agencies covered in the survey are 

conducting a files inventory, 
developing file plans and labels, 
monitoring the use of records, 
preparing the records control schedule, and 
tracking inactive records in storage. 

In addition, some of the systems in place at agencies include correspondence 
tracking modules (such as those needed to meet Freedom of Information 
Act and Privacy Act requirements), but they are not described in detail in 
this report because they are tangential to the records management concerns 
ofNARA. 

The following sections detail the functions that have been automated by the 
surveyed agencies. Agency-specific experiences in automating these func¬ 
tions are described in the case examples (see Part II). 


A comprehensive records inventory is a critical component of a sound 
records management program. Through the inventory process, an agency 
identifies records in a systematic way to facilitate the efficient organization 
of records, the analysis of records' value, and the eventual development of 
filing systems and records schedules. 

During an inventory the following information is usually identified: 


Date of inventory 
Person doing inventory 
Series title 
Series description 
Arrangement 


Location of files 
Series location 
Inclusive dates 
Medium 
Volume 


NARA Automation Survey 10 


Developing File 
Plans And Labels 


Annual accumulation 
Reference activity (after cutoff) 
Duplication 

Restrictions on access and use 
Disposition authority 


Cutoff and transfer dates 
Vital records status 
Finding aids (if any) 

Condition of permanent records 


An automated files inventory can be conducted onsite in a relatively short 
period of time by a small group of specially trained individuals using 
portable data collection devices. There are a number of advantages to 
automating this process: 

(1) There is consistency of input because of the small number of 
individuals assigned to the project. 

(2) Edit-checking can be built into the data collection devices, thereby 
minimizing erroneous entries and ensuring that essential information is 
collected. 


(3) More consistent overall results are achieved by completing the 
survey within a relatively short time. 

(4) Survey data is collected in a machine-readable format so that 

(a) data collected is more easily sorted and summarized, and 

(b) information collected can be more readily converted and linked 
to an automated records control schedule. 

(5) The danger of losing manual data collection forms is eliminated. 

Agencies performing a records inventory may wish to consider applying 
bar-codes to files during the inventory to facilitate the future development 
of an automated records chargeout. 

The records inventory process is a fundamental component of an effective 
records management program. Automating this process can have a wide- 
ranging impact on all phases of records management. 


A simple data-base application that can concurrently produce a file plan and 
file labels from the same data base can be easily implemented in just about 
every office. A further evolution of this type of system is the development 
of an adjunct data base that can also produce labels with disposition 
instructions for each file folder. 


NARA Automation Survey 11 


Monitoring The Use 
of Records 


Preparing Records 
Control Schedules 


Tracking Inactive 
Records In Storage 


Agencies may wish to track records activity at a variety of levels— docu¬ 
ment, folder, subseries, accession, and series or box. In most Federal agen¬ 
cies manual tracking systems will suffice if they are rigorously monitored. 
In some instances, however, a high volume of reference activity and a great 
need for immediate access to information may make an automated system 
appropriate. With such a system, an agency may track such information as 
the record identification number, summary information about the record, 
the person requesting the record, telephone number and office of the re¬ 
quester, the date the record was charged out, and the date the record was 
returned. A document control and chargeout system might also include 
reports such as a listing of outstanding material or a history of reference 
activity. It can be applied to either active or inactive records. 

Several Federal agencies have converted their records control schedules to 
electronic format. A few agencies undertook this conversion purely to 
facilitate distribution and to ensure that the most recent edition of the 
schedule was being referenced throughout the agency. In most cases, how¬ 
ever, the schedule was developed in a data base shell, allowing for multiple 
levels of indexing and keyword searching. In a full-functioning automated 
records management system, the automated records control schedule 
would come directly from the data collected in an automated inventory. If 
the agency file classification system matched the agency records schedule, 
an automated file plan and labels module could also be linked to the records 
control schedule. 

Many agencies store inactive records awaiting final disposition action in 
Federal records centers (FRC's) or agency recorcls holding areas. In most of 
these cases, the inactive records are stored in groups (accessions) according 
to the series and cutoff date of the records. Although these records are called 
inactive, there are legal or other requirements to preserve them, and there 
is an occasional need to access them. For these reasons, agencies need to 
maintain the following information about these records: 

(1 identification of all records retired to storage; 

(2) identification of the location of these records; and 

(3) tracking of records temporarily removed from storage. 


NARA Automation Survey 12 


In an automated system, this information must be promptly retrievable in 
order to provide adequate access to materials in offsite storage. In addition, 
an agency may wish to use this type of system to record all data items 
required by the FRC's for the Standard Form (SF) 135, Request for Records 
Transmittal and Receipt and use this information to generate an automated 
SF 135. 


152-521 O - 94 - 2 : QL 3 


NARA Automation Survey 13 


NARA Automation Survey 14 


II. Agency Examples 


There is no single // best" reason for automating records management. In 
some instances, automated records management activities were largely the 
result of agency records officers' individual initiatives. In other instances, 
agencies were preparing for a comprehensive automation effort, and 
records managers lobbied for inclusion in the development of the auto¬ 
mated system. For some of the systems the records management office 
identified problems for which there was a cost-effective automated solution. 
The systems reviewed during the survey represent the wide variety of 
approaches that can be taken towards automating records management in 
the Federal Government. 

The agency examples are presented in alphabetical order. 

A caveat is in order regarding changes to electronic information systems. 
The information in this section of the report was obtained from the agencies 
identified primarily during the first half of 1992. NARA provides no 
guarantee that the agency systems described below operate today exactly 
as they did in early 1992. 


Air Force, Department of Defense 

The Air Force Records Information Management System (RIMS) was de¬ 
signed to automate four broad functional areas: files management, staged 
records management, Freedom of Information Act (FOLA) program man¬ 
agement, and staff support. The system itself has nine major modules: Files 
Management, Browse AFR 12-50 (Air Force Regulation 12-50, the designa¬ 
tion for the Air Force Records Control Schedule), Staging Area Management, 
AFR 12-50 Maintenance, FOIA Processing, Administration, Backup and 
Recovery, Difficulty Reporting, and System Variables. These modules com¬ 
prise the main menu selections. 

The Files Management module produces reports containing the information 
for records management forms used by the Air Force. This module is used 
to create, modify, and generate file plans (Air Force Form 80, Files Mainte¬ 
nance and Disposition Plan). The Files Disposition Control Labels (AF Form 
82), folder labels, and the SF 135 equivalent are printed from this module. 
Further reports generated include a disposition list that itemizes what 
records are to be destroyed, shipped to a staging area, or transferred to an 
inactive status as well as various other lists of Air Force records held in 
active, nonstaged status. 


NARA Automation Survey 15 





The Browse AFR12-50 module allows viewing access to AFR12-50, Records 
Management, Disposition of Air Force Records, Records Disposition Stand¬ 
ards. This document serves as the disposition manual for the Air Force. AFR 
12-50 arranges all the record series and their dispositions according to tables 
and rules. The tables are identified by a two-part number that is based on 
the series number in AFR 5-4, Numbering Publications, and a control 
number to indicate the number of the table within the series. Each table has 
a title that identifies the subject matter. The tables are divided into four 
lettered columns. Column A provides a general description of the records, 
and column B contains a more detailed description. The organization or 
level of command where the records are filed is marked in column C, and 
column D indicates the disposition instructions for the record series. (See 
illustration below.) The Browse AFR 12-50 module allows viewing of the 
record series titles, the table titles within a series, or the record titles (de¬ 
scriptions) within a table. 


Decision Logic Table. 


TABLE 34-l~j CD _ 

PERSONNEL SERVICES"! © 


R 

A © 

• 

C 

D 

U 

L 

E 

If the records an 
or pcrtala to 0 

consisting of © 

which are © 

thea © 

1 

moral and welfare 
program planning 

studies, directives, and analytes reflecting organi¬ 
zation of programs, and conduct and result of 
program activities 


sec table 213-1. 

© 

2 

support for religious, 
morale, welfare, and 
recreation facilities 
and activities 

supply records; fund budgets (see note) 


see table 213-1. 

1 

professional enter¬ 
tainer records 

locator cards for professional entertainers of for¬ 
eign nationality performing in overteat military 
establishments 


sec table 213-1. 

4 

private organizations' 
(PO) records 

constitutions and by-laws, charters or articles of 
agreement, legal reviews by Judge Advocates, 
commander's approval to operate on base, bien¬ 
nial review waivers and related papers 

at responsible staff of¬ 
fices as designated by the 
installation commander 

© 

destroy 1 year after discon¬ 
tinuance of the PO (set note). 

S 


minutes of meetings and monthly financial state- 
menu 


destroy after 1 year or when 
no longer needed, whichever 

Is sooner (set note). 

S.l 

© 

Private organizations' 
(PO) records of types 

2 and ) POs as de¬ 
scribed in APR 34-4 

financial audits and reviews 


destroy after 1 year or when 
no longer needed, whichever 
is sooner. (Eaeeption: Retain 
the most recent for 1 fiscal 
year following discontinuance 
of the PO. then destroy.) 

« 

reports on applica¬ 
tions for vending 
stand locations 

reports required by AFR 34-2 identifying num¬ 
ber of applications for vending stand locations 
received from state licensing agencies; number 
accepted, denied, and still pending, as pertains to 
applications from blind persons 

at HQ AFMPC/DPMSC 

destroy after 3 years. 

T 



at MAJCOMs and inter¬ 
mediate commands 

destroy after 3 years 

1 



at installations 

destroy after 2 years. 


NOTE: Records maintained by private organisations are disposed of as prescribed by the organizations' charter/bylaws (sec volume I, paragraph 
3-lb.) 


NARA Automation Survey 16 






























How To Use the Decision Logic Table. 


The first number in the table number is based on the 
series number in AFR 5-4, Numbering Publications, 
which prescribes the creation or maintenance of the 
records listed in the table. The second number is 
assigned for control purposes only, to indicate the num¬ 
ber of the table within a series, and does not correspond 
or relate to the same sequential numbered Air Force 
publication. For example, in table 10-1, 10 refen to the 
10 series publication and 1 is the fint table in the 10 
series decision logic tables. The tables are arranged in 
numerical sequence by these numben. 

(?) The table title identifies the subject matter included 
in the table. 

(?) The column headings are assigned alpha designaton 
so that each column may be quickly and accurately ref¬ 
erenced in either written or oral communications. 

Column A provides a general description of the 
records covered. Read down column A until you come 
to the category of records required. 

^) Column B is a further general description of the 
records identified in column A. These descriptions also 
cover general categories of forms and reports. Deter¬ 
mine what portion of the description applies to your 
particular situation. Use AFRs 0-9 and 0-12, and com¬ 
mand 0-9s, to determine the prescribing directive for 
specific forms. A review of the DLTs in the same sub¬ 
ject series should provide a general description of the 
forms, reports, or other records of the series. 

^) Column C may indicate an organization or level of 
command where the records are filed; if not, the rule 
applies to any level accumulating the records described, 
and column C is left blank. (NOTE: As used in this 
regulation, major subordinate command refers to head¬ 
quarters of an activity between a major command and 
subordinate elements to which authority has been 
delegated to initiate and promulgate policies and pro¬ 
cedures or to exercise managerial control for a major 
segment of an Air Force- or command-wide function. 
This includes headquarters of numbered Air Forces, 
areas, regions, and comparable levels, and level code 3 
in AFM 20-3.) 

^) Column C may indicate a specific copy. If not, the 


rule applies to all copies, regardless of their location, 
except copies required by other directives to be given to 
individuals concerned or filed in personnel records. 

(?) Column D provides appropriate disposition instruc¬ 
tions, based on conditions in columns A, B, and C. 

(?) Column D may refer to another table or rule for 
disposition. If so, cite the referenced table and rule on 
AF Forms 80 and 82. 

(f(5) An asterisk with the rule number indicates a new 
rule or a change in disposition authority (column D), or 
any major change in columns A, B or C. 

(NOTE: References in column D of DLTs to 
*NPRC (MPR),* 'NPRC (CPR),* and *WNRC* 
refer to records centers indicated in volume I, 
attachment 1, paragraphs 1, 2, and 6, respectively. 

Use full name and geographical address, as indi¬ 
cated in volume I, attachment 2, when shipping 
records or corresponding with those centers.) 

•NOTES. Explanatory notes or lengthy exceptions may 
be added to the end of a table as notes. When notes are 
referenced in a table title or rule, they are a part of the 
title or rule, and must be considered in applv'ng the 
disposition standard(s). 

•Records Common to All or Several Functional Areas. 
General correspondence files are covered by table 10-1, 
whether permanent or temporary, and pertain to all 
functional areas. Other records common to all or 
several functional areas, or for which there is no specific 
prescribing directive, are in the 10- or 11-series DLTs. 

•Citing DLT References. On AF Forms 80 and 82, cite 
the exact table and rule number which provides for the 
disposition of each series of records listed. Abbreviate 
by indicating 'T* for table, and 'R' for rule (for exam¬ 
ple, T10-1, R4). In correspondence, or other oral or 
written communications, cite specific table and rule 
number (for example, table 10-1, rule 4) and, if neces¬ 
sary, specific column (for example, 4A, 4D). 

•Cutoff Dates. Cutoff dates, indicated in volume I, chart 
4-1 are used unless otherwise indicated in the DLTs. 


NARA Automation Survey 17 


The third module is Staging Area Management, which is used for maintain¬ 
ing the shelf inventory of the staging area where inactive records are stored. 
This module generates disposition lists for the local staging area that indi¬ 
cate which records are to be destroyed and which are to be transferred to an 
FRC, as well as lists of records held at a staging area that have been affected 
by a change in AFR 12-50, and various other lists of records held in the 
staging areas. 

The AFR 12-50 Maintenance module is used for adding, deleting, or chang¬ 
ing rules in the online AFR 12-50 as well as generating lists of modified tables 
and rules. 

RIMS also assists in the administration of the FOIA program at the base 
level. This module maintains an online FOIA log for tracking FOIA requests 
and ensuring that they are responded to within 10 working days. The log 
can also be printed using this module. The FOIA Processing module is used 
as an aid to compute the FOIA Report (AF Form 17). 

The sixth module. Administration, allows the user to view or print the list 
of offices of record as well as to add, delete, or change information concern¬ 
ing these offices. This module is used to create a listing of offices or change 
the current listing of offices due for training visits or staff assistance visits. 
AF Form 80's are approved or disapproved through this module. 

The Backup and Recovery module allows the user to back up all data onto 
a floppy diskette and restore data from the backup floppy to the data bases 
in case of lost or corrupted data. This module also allows the user to reindex 
damaged indexes in the data base. 

Module eight. Difficulty Reporting, enables the user to report problems with 
the RIMS software and manuals. The module also enables users to forward 
their enhancement ideas for the system. 

The last module. System Variables, is used to set the colors on monitors, the 
passwords for the AFR 12-50 Maintenance module, and the approval/dis¬ 
approval file plan function of the Administrative module. 


Bureau of Labor Statistics, Department of Labor 

The Records Control and Disposition Scheduling System (RCDSS) has four 
overall functions. The records schedule control function maintains the 
retention periods and disposition instructions for each record series. The 
Bureau of Labor Statistics (BLS) file control function maintains the descrip¬ 
tion of each record series. The records disposition planning function gener- 


NARA Automation Survey 18 



ates a tickler file to alert the Division of Administrative Services (DAS) staff 
that a specific record series is due for disposition action. The records 
transmittal and retrieval processing function generates the information 
found in the SF135 for transferring records to an FRC, although not in the 
form's format. Other functions include adding, deleting, modifying, view¬ 
ing, printing, and some minor editing capabilities for data base mainte¬ 
nance. 

The BLS system is able to generate a number of reports such as the tickler 
file (Report of Pending Action) and SF 135 report (Transferring of Record 
Series to an FRC, or Retired from FRC) mentioned above. Another report is 
the Summarization of Record Holdings that lists the volume of records, in 
cubic feet, that were on hand at the beginning and end of the reporting 
period, were transferred to an FRC or to the National Archives, were 
destroyed, or are special media. Other reports include Archiving of Record 
Series and Production of Record Series History. 

RCDSS has three major data bases, the Record Series (RS) data base, the BLS 
Organization (ORG) data base, and the Transaction (TR) data base. The RS 
data base contains all the descriptive information pertaining to BLS record 
series. The ORG data base contains information concerning BLS organiza¬ 
tions and the organization table. The TR data base maintains records sched¬ 
ule information concerning retention periods, disposition, or location 
transfer of record series items (called transactions). The TR data base is the 
source for generating SF 135's. BLS maintains a separate transaction data 
base for each transaction year. At the end of each year it issues the Final 
Disposition Report, which confirms all the transactions that occurred during 
the year. The RS data base is then automatically prepared for the next 
transaction year when the Automatic Year End Update report is processed. 
Once the RS data base has been updated, it cannot be restored to its previous 
state. The different record series are tracked within the RS data base by 
organization code or schedule or item number. For example, a user may key 
in an item number to see how many BLS offices create and maintain a 
specific type of record. The record series description includes the NARA job 
number, the type of media, the schedule number, the first 60 characters of 
the record title, privacy information, and inclusive dates. The volume of the 
record series is also represented in cubic footage and accounts for year-to- 
year accretion. Retention and disposition instructions are also listed for each 
record series description within this data base. The data base accounts for 
approximately 3,500 record series, but the schedules in the TR data base are 
not automated (cross-indexed) to apply directly with the RS data base, and 
organization codes need to be researched for input in order to print out the 
historical report. This lack of data base linkage may lead to difficulties. 


NARA Automation Survey 19 


Bureau of Reclamation, Department of the Interior 

The Automated Records Management System (ARMS) is a records tracking 
system with several basic functions—adding new records, updating infor¬ 
mation, querying the system to identify records, and printing reports. This 
system has the ability to track the chargeout and return of records for control 
purposes and to track all correspondence requiring a response. Tickler files 
or reports track records disposition. There is also a folder/records mainte¬ 
nance function that permits the records manager to add new folders for 
records that have not been entered into ARMS, change the entered records, 
split folders, or delete folders to keep the system current. 

The ARMS index uses keyword search capabilities. This allows the records 
to be indexed within a relational data base by different features, the exact 
record identification is not needed. When a record is created, ARMS con¬ 
nects the document keyword automatically to the correct classification code 
and can cross-reference it to related codes. This feature enables the user to 
search for records by table field, control number, or a specific item; browse 
records either by subject or date; or conduct ad hoc searches. 

The ARMS system is not capable of creating the SF 135 or SF115 (Request 
for Records Disposition Authority) forms from the stored data. The system 
can generate the Records by Disposition Code and Folder Location Report, 
which is able to list all the records by a specific disposition code and/or 
folder location, but does not interpret the code. ARMS is not capable of 
distinguishing record media type, the volume of specific record groupings, 
or tracking physical storage space. 


Environmental Protection Agency 

The Environmental Protection Agency (EPA) manages a large volume of 
records with long-term storage requirements. Many of these records have 
remained largely unmanaged in EPA offices throughout the country. Re¬ 
cently EPA has been making a major effort to inventory these records and 
transfer them to economical storage at FRC's. Therefore, the FRC transfer 
process has been the major focus of EPA's endeavors in automated records 
management. 


NARA Automation Suivey 20 




Initially the project was the direct result of EPA's desire to transfer a large 
quantity of Superfund contract lab records from the EPA Region 1 offices to 
the Boston FRC. EPA contracted with American Management Systems 
(AMS) for the development of a prototype SF 135 software system to 
automate the transfer process for this specific body of records. AMS, EPA 
Region 1, and the Boston FRC worked together to develop a system that was 
acceptable to all parties. 

The project was expanded to include modification, testing, and implemen¬ 
tation in EPA's Region 7 offices in Kansas City, KS. In both Region 1 and 
Region 7 the systems were developed as stand-alone applications running 
on individual personal computers with attached laser printers. EPA is 
anticipating expanding the range of this application to include all regional 
and headquarters offices. 

The primary reason for development of EPA's SF 135 system was to improve 
EPA's efficiency in transferring records to FRC's through the automated 
production of SF 135's. Secondarily, the purpose of the system is to provide 
EPA with automated search capabilities to identify transferred records. 

The descriptive information entered into the system includes all of the 
information required by the FRC as well as information useful to EPA, 
including folder information. The system has been developed with the 
capability of printing initial and final facsimile SF 135's that are acceptable 
to FRC's. It can also print individual Box Contents and Box Summary 
Reports. Data entered into the system can be searched based upon the 
contents of any field tracked by the system. The system can run either in a 
stand-alone configuration or on a Local Area Network (LAN) with multiple, 
simultaneous users. 

Wherever possible, EPA and AMS have worked to include features that 
make a system "user friendly." Such features include consistency in screen 
design, similarity in function key definitions from screen to screen, and 
identification of basic system prompts within each screen. 

To the greatest extent possible, data is verified upon entry, and in some cases, 
a list of valid entries is identified and can be selected for the fields. Within 
the data entry screens the system allows for duplication of box information 
for multiple box series. 


NARA Automation Survey 21 


The system can search for records based on any field it tracks. This speeds 
and facilitates reference activities for all records transferred to FRC storage. 
Fields identified by the system include the FRC-assigned accession number, 
volume of records, box number, FRC location, restriction code, disposition 
authority, disposition date, and series description. 


Federal Bureau of Investigation, Department of Justice 

The Information Management Division (IMD) of the Federal Bureau of 
Investigation (FBI) is embarking on an ambitious program to design, de¬ 
velop, and implement integrated computer applications to support the FBI's 
mission as described in the FBI Information System Vision of October, 1991. 
The IMD has full support from senior management for this program devel¬ 
opment. The Automated Records Management System (ARMS) will cover 
a number of systems, some of which will be integrated into one system. The 
systems making up ARMS will embody IMD's goals to provide automated 
support for record and file inventory control, record processing and name 
checking, electronic surveillance. Freedom of Information and Privacy Act 
(FOI-PA) request tracking, and other IMD information procedures. 

As part of the ongoing program, the ARMS team contracted with Mnemon¬ 
ics Systems, Inc. (MSI) during fiscal year 1990 to provide one to three MSI 
personnel to perform programming functions for the redesigned records- 
processing applications that include help routines, activity logging, edit 
routines, security labeling, and creating batch reports. 

Many of the planned applications or old systems were integrated into the 
ARMS system during the redesign that took place in FY1990-91. This new 
system concentrates on the applications related to records management. The 
integrated records-processing applications simplify indexing of case files, 
serializing mail, and searching the FBI headquarters General Index (HQGI). 
Within ARMS, the National Name Check Program searches the HQGI and 
tracks the progress of a request for a name check from receipt to response. 

An old system, the File Automated Control System has been redesigned to 
include file control functions that track and route microfilm, enclosures, and 
multi-section and compressed files. This application enables the user to 
determine the status of a file, automatically print chargeout and routing 
information, and locate and return files using bar-coding technology. 


NARA Automation Survey 22 



The FOI-PA Request Tracking application provides online support for the 
initiation and progress of FOIA and Privacy Act information request proc¬ 
essing. A history data base is maintained to ensure that the request is 
processed within the time allotted. This application was implemented in 
1977 but came online in 1981. 


Forest Service, Department of Agriculture 

The automated office system in place at the Forest Service includes a 
document management system that parallels manual Forest Service sys¬ 
tems and piggybacks onto the systems operation of the Data General (DG) 
Comprehensive Electronic Office (CEO). The system's electronic structure 
parallels a physical file cabinet. A cabinet contains file drawers (personal or 
public); file drawers contain file folders; and folders contain documents. 

There are three distinct levels of information within the CEO filing structure: 
public files, staff files, and personal files. Public files contain information 
that is shared within each organizational unit and stored in the unit's public 
file cabinet. A single point of responsibility is identified to manage the public 
file cabinet. A special user name, "Fileclerk," is established to accommodate 
the record material in the centralized, public file cabinet. Staff may be given 
special access to manage information in specific public drawers. Public files 
contain documents and information that should be available to all users of 
the DG systems in the unit. These include official correspondence and other 
record material and current information such as the daily news digest, chief 
and staff notes, telephone directories, and other information that manage¬ 
ment determines should be available to all users. Creation of public drawers 
must be managed to keep needed information organized and available to 
all users. 

Staff files contain information unique to each staff or subunit and need not 
be shared with other users. The staff information manager creates the 
drawers and folders in the staff space and determines the organization of 
those units. Staff members, through shared access, use these drawers and 
folders to create, review, and manipulate working documents within the 
staff. Since the staff owns these drawers, large documents can be stored in 
this space. 


NARA Automation Survey 23 



Public files are managed by an electronic-filing shell that mimics the manual 
filing systems of the Forest Service. Public drawers are established by the 
designated "Fileclerk" who has the sole authority to amend material in the 
public files. Each document in the public file cabinet has a document 
summary, which is used to rapidly search and retrieve documents from the 
files. The document summary is initiated by the author and reviewed by the 
group secretary to meet the public files standards. 

Personal files contain information unique to each user, are not shared, and 
are limited to information that is not applicable for storage in either the staff 
files or the unit public files. The information is informal, is stored temporar¬ 
ily, and consists of notes, format rulers, sensitive personnel matters, and 
similar items. Users have personal file space, calendars, and inboxes— 
much like their own desks. Users are responsible for organizing and man¬ 
aging their files within the limited space allocated. Initially, users are 
provided with the following drawer in their personal file cabinets: 

Drawer Folder Description 

Mail General Document Name 

The users can create other drawers as needed for their personal uses. Since 
the main owner of these drawers is the individual user, space is limited. In 
the Washington office, individual user space is limited to 500 blocks. Proce¬ 
dures for electronic document processing have been established for the 
creation, maintenance, and disposition of official outgoing correspondence. 


General Accounting Office 

The General Accounting Office (GAO) has automated the tracking of audit 
and nonaudit workpapers as a component of an automated office system 
that was developed and is currently managed by General Electric (GE). The 
contract for GAO automated systems was awarded to GE in 1980. 

The current automated records management modules track records retired 
to FRC's and also provide online access to the GAO Comprehensive Records 
Schedule (CRS). There is a capability to view the two modules simultane¬ 
ously. However, there is currently no interactive link between the two that 
could be supported by an artificial intelligence (AI) application (e.g., a 
system that would automatically provide the disposition authority for a 
series based upon the series title or one that could calculate the disposition 
date based upon the disposition authority). 


NARA Automation Survey 24 



The menu systems accessing both the audit and nonaudit workpapers SF 
135 data entry modules are hierarchical in structure and user-friendly in 
layout. Data can be entered, verified, and uploaded to a main data base 
using the menus. 

Under the menu systems for the audit and nonaudit workpapers modules, 
a standard report format is available. This report includes the type of 
information that feeds directly into SF 135 preparation as well as a summary 
box listing of each transferred accession. More selective information and 
specific querying capabilities are available using Structured Query Lan¬ 
guage (SQL). (However, SQL requests must be processed by the data base 
administrator and are not directly accessible to the individual user.) 

Data elements defined at the accession level for both audit and nonaudit 
workpapers are: 


Permanent Accession Number 
Change DateAdd Date 
Facility 

Document Classification 
Office of Primary Responsibility 
CRS Item Number 

Additional data elements defined 
nonaudit workpapers are: 

Accession Box Number 
Report(s) 

Description 


Temporary Accession Number 
Storage Facility Accession Number 
Form 135 Title 
Year(s) 

Storage Location 
Total Number of Boxes 

at the box level for the audit and 


Resolution Trust Corporation 

The Resolution Trust Corporation's (RTC) most pressing requirement for an 
automated records management system was to gain control of 1.4 million 
cubic feet of incoming asset records from failed savings and loans. These 
records include documentation of patrons' accounts at thrifts, as well as 
records of outstanding loans. This volume represents the records of over 600 
institutions with an average of 2,400 cubic feet per institution. These insti¬ 
tution records are the bulk of the records that RTC needed to immediately 
inventory, control, and schedule. 


NARA Automation Survey 25 



When a thrift institution falls under RTC conservatorship, the management 
of asset records must be at the document level. When the records fall under 
RTC active management, control is required at the folder level. For the 
records of institutions that are not sold by RTC, there is a legal requirement 
for the records of the institution to be maintained for 25 years after the 
institution closes its doors. For records falling under this contingency, RTC 
must develop a procedure for the box-level control of records requiring 
long-term storage at RTC records centers. 

In addition to the institution records that fall under its purview, RTC's own 
corporate records require life-cycle management. 

Within the context of this situation, RTC has developed the Records Man¬ 
agement Tracking System (REMATS). With the implementation of REMATS, 
RTC fulfills the primary goal of the records management function—to 
remain accountable for asset documentation as well as other thrift docu¬ 
mentation as it moves through the life cycle. These functions include main¬ 
taining the inventory, status, and location of all documentation. Further, 
REMATS must be versatile enough to provide life-cycle control at multiple 
levels—document, file, box, and series. 

The mission of RTC, "To manage and resolve troubled thrifts that have been 
turned over to the Corporation; and, to manage and liquidate billions of 
dollars of assets remaining as insolvent thrifts are sold or closed" (RTC's 
Information Resource Management Plan, June 1991), is dependent upon the 
effective implementation of a comprehensive records management pro¬ 
gram. 


Social Security Administration/ 

Department of Health and Human Services 

The primary purpose of the data bases established by the Social Security 
Administration's records management office is data collection. The major 
data base is the Operational and Administrative Records Schedules (OARS). 
The information contained in OARS includes the file code, series title, series 
description, disposition instructions, disposition authority, and whether or 
not the records involve FRC storage. In order to insure data-base consis¬ 
tency, continuity, and integrity, the development of the data base was kept 
within the records management office. The quantity of information collected 
was extensive—over 4 megabytes of data. 


IMARA Automation Survey 26 



OARS will be distributed in electronic format to approximately 60 offices 
with designated Records Management Contacts. There will be approxi¬ 
mately 2,000 copies distributed overall, including distribution to 1,400 
district and regional offices and distribution to the division level in the 
central office. 


Tennessee Valley Authority 

The Tennessee Valley Authority (TVA) uses 14 data bases to run the Records 
and Information Management System (RIMS). RIMS was created in January 
1986 by the merger of two older systems, the Automated Records Manage¬ 
ment System (ARMS) and the Management Engineering Data System 
(MEDS). The MEDS system was originally created in September of 1976, 
and ARMS was created in January 1979. The RIMS system is the official 
record system for Power and Nuclear Power. This system includes docu¬ 
ments originated and received by these organizations. 

RIMS is a computerized index for TVA's micrographic systems. Not all of 
the records entered into RIMS are of permanent value, but the RIMS index 
has been appraised as permanent. 

The TVA index has records cataloged by 51 different registering factors 
within the system. Some of the fields used for records retrieval or tracking 
within RIMS include the accession number of the document, the TVA 
contract or requisition numbers, the date of the document, document iden¬ 
tification numbers, the type of document, and the date the document was 
indexed into RIMS—referencing a person mentioned in a document, an 
item number, or a keyword. When records are located according to the 
search criteria entered, the screen will display the accession number, date, 
reel, frame number for location, the number of images in the document, and 
the subject (a title or short description). When the record search is keyed to 
an accession number, all of the data bases are searched. This system also has 
the capability to sort retrieved records. 

The records in RIMS can also be batch-searched through the Chattanooga 
RIMS Service Center. Batch searches are usually carried out overnight, and 
since they reduce retrieval costs by 40 percent, this type of search is encour¬ 
aged. 

There are occasions when a revision, comment, or notation needs to be 
added to a document already in RIMS. This additional information, called 
an endorsement, is given a separate accession number that will be linked to 
the original document. 


NARA Automation Survey 27 



TVA has access to about 20,000 records in RIMS. RIMS tracks the active and 
inactive records at the series level and at the box or reel unit level within the 
TVA records centers (paper records which are filmed are subsequently 
destroyed). Many of these records also contain classified information and 
are identified in the system with a plus sign at the start of the subject 
description. RIMS has automatic data processing security access codes built 
into the system, and the authorized users are given an operator ID and 
password. Should the user mis-key his or her ID and password three times 
in a row, RIMS will lock out the user for a security violation. 

RIMS has the capability to generate reports tracking the amount of informa¬ 
tion requested, the identity of prime users, peak usage time, and input and 
retrieval costs. RIMS was never meant to provide records management 
controls. The TVA system does not generate a report that approximates the 
SF135 for records transfer to an FRC or the SF115 for records retention and 
disposition schedules. 


NARA Automation Survey 28 


III. Observations 


1. The records inventory is the most labor-intensive part of any records 
management program. Of the agencies included in this survey, only one 
chose to automate this function. The proliferation of notebook computers, 
or other very lightweight portables, means that a more widespread appli¬ 
cation of automation to the inventory process may be feasible. 

2. The majority of agencies surveyed chose to begin the automation efforts 
with a specific records management function rather than addressing all 
records management functions at once. In most instances, cost-effectiveness 
was the driving consideration in selecting an activity. In developing these 
systems, records managers anticipated future enhancements and additional 
applications that will link with the current system. 

3. There is no "correct" answer to the question of using off-the-shelf versus 
custom-developed software. Each agency needs to make this choice on an 
individual basis after carefully considering factors such as: 

the availability of resources (both dollars and people) for initial purchase 
or development and continued maintenance and upgrading of the 
software; 

the capability of off-the-shelf software to meet the requirements 
identified by the organization; and 

the requirement for the records management application to be integrated 
with other automated applications in the organization. 

4. NARA has several automation initiatives under way or in the planning 
stages. The Centers Information Processing System (CIPS), under develop¬ 
ment by the Office of Federal Records Centers, currently allows electronic 
transmission of reference requests (Optional Form ll's) between FRC's and 
customer agencies. CIPS will later allow for electronic submission of SF 
135's. Questions about CIPS may be directed to the Office of Federal Records 
Centers, 202-653-8440. 

NARA's Center for Electronic Records now allows agencies to transfer 
associated systems documentation in electronic form when transferring 
permanent electronic records to NARA. The Center is also working on an 
initiative that will allow agencies transferring permanent records in elec¬ 
tronic form to electronically transmit the data, rather than providing NARA 
with magnetic tapes or tape cartridges. For further information, call the 
Center for Electronic Records, 202-501-5575. 


152-521 o 


94 - 3 : QL 3 


NARA Automation Survey 29 




The Records Administration Information System (RAIS), under develop¬ 
ment by the Office of Records Administration, will provide automated 
access to information about all scheduled records of the Government and 
will include a capability for the electronic submission of agency requests for 
disposition authority (SF 115's) to NARA. Questions about RAIS may be 
directed to the Office of Records Administration, 202-501-6000. 

5. There is a need to encourage the exchange of information about automat¬ 
ing records management among agencies. To date, most agencies that have 
automated have done so independently. Experiences of one agency could 
easily benefit others, yet at present no convenient mechanism exists for 
agencies to share and benefit from information gained from their experi¬ 
ences. As a result, to foster the exchange of information about automating 
records management among agencies NARA will establish a users' group 
of interested agencies. The users' group will also provide a mechanism to 
facilitate appropriate coordination between agency systems and NARA 
systems and will include representatives from NARA's Office of Federal 
Records Centers, Center for Electronic Records, and Office of Records 
Administration. Questions about the users' group may be directed to 
NARA's Office of Records Administration, 202-501-6000. 

6. For records in electronic information systems, the functions of records 
management should be incorporated into the design of electronic systems. 
For example, that data or information in a system which meets the legal 
definition of "record" could be tagged; the system could provide appropri¬ 
ate file codes and retention periods; it could generate automatic reminders 
about retention periods and transfer dates; and it could execute disposal at 
the appropriate date. 

The articulation of standard, generic "functional requirements" for records 
management and incorporation into electronic systems design, is the subject 
of ongoing work by the National Archives and Records Administration. For 
information, call the Office of Records Administration's Agency Services 
Division, 202-501-6000. 


NARA Automation Survey 30 


Appendix A: Survey Questions 





NARA Automation Survey 31 
Appendix A 





NARA Automation Survey 32 
Appendix A 


Records Management Automation Survey 


1. Are any facets of your records management program automated? 

If so, briefly describe your automated records management system. 
Identify the type of hardware and software, general applications, size 
of network, age of the system, and whether it was developed in- 
house or by a contractor. In particular, identify the records 
management software used in your system. 

2. What factors were considered in selecting the hardware? 

3. What factors were considered in selecting the records management 
software? 

How much memory and hard disk storage does this software require? 

4. How was the records management software selected? 

Was it part of an overall effort to develop the office automation 
system or added on after the system was installed? 

In the organizational hierarchy, what was the level of the position of 
the person(s) who made the final selection of the software for the 
records management function? 

5. Did the records management program do what it was designed to do 
or were adjustments needed after the installation? 

If adjustments were needed, did this process involve the acquisition of 
further hardware equipment or software? 

How much time was needed for the corrective measures? 

How are modifications to the records management program handled? 

6. Does the records management software manage active records, 
inactive records, or both? 

Do you need separate software packages to manage the active as 
opposed to the inactive records? 

7. Does this software enable your system to identify the different levels 
of records (i.e. record groups, series, subseries, etc.) and their media 
types? 


NARA Automation Survey 33 
Appendix A 


Is bar coding used for identifying the records? 

Does this system generate folder or box labels for the records? 

8. What kind of retention or scheduling information can be assigned to 
each series of records? 

How many fields are involved? Please identify the fields. 

9. What record tracking capabilities does this software give your office 
automation system? 

Does it allow you to track the official record copy, the amount of time 
the records are in active office storage, and the charge-out history? 

Does the program track available storage space and alert you as to 
what records or folder titles are due for action such as destruction or 
transfer to an inactive storage center or the National Archives? 

10. Does this records management software have the capability to create 
forms? 

In particular, can it produce the equivalent of a SF 115 (Request for 
Records Disposition Authority), SF 135 (Records Transmittal and 
Receipt), or SF 258 (Request to Transfer, Approval, and Receipt of 
Records to the National Archives of the United States)? 

Please identify any other forms produced by the system. 

11. What kind of reports does this software generate? 

Does it produce retention schedules, indexes for the record series, 
lists of records ready for destruction or transfer, list records or folder 
titles according to sensitivity levels, or identify the vital records and 
other records of permanent value? 

12. Are provisions made to test/review the automation system 
periodically? If so, briefly describe? 

Does the software have self-checking capabilities to detect possible 
errors or inconsistencies with the records that need to be corrected? 


NARA Automation Survey 34 
Appendix A 


Appendix B: Menu, Screen, and 
Report Samples 


NARA Automation Survey 35 
Appendix B 




NARA Automation Survey 36 
Appendix B 


Air,force 


1. Hardware Configuration 

2. Database Relationships 

3. Menus 

Main Menu 

Files Management 

Browse 12-50 

Staging Area Management 

12-50 Maintenance 

FOIA Processing 

Administration 

Backup and Recovery 

RIMS Difficulty Reporting System 

RIMS System Variables 

4. System Reports Sample 

5. Decision Table and Rule Sample 


NARA Automation Survey 37 
Appendix B 



ASSUMED HARDWARE CONFIGURATION 



NARA Automation Survey 38 
Appendix B 
































NARA Automation Survey 39 
Appendix B 


Data Base Relationships 




























» 


w 

3 


w 


3 

0) 


3 


3 


CD 

3 

C 



NARA Automation Survey 40 
Appendix B 











1. FILES MANAGEMENT - This module is used for: 

a. Creating or modifying File Plans (Forms 80) 

b. Generating Forms 80 

c. Printing Forms 82 

d. Printing Folder Labels 

e. Generating a Disposition List (i.e., what records are due 
to be destroyed, shipped to a staging area, or transferred to an 
inactive status) 

f. Generating SF 135 equivalent 

g. Generating various lists of AF records held in active 
non-staged) status. 

2. BROWSE 12-50 - This module is used for: 

a. Viewing AFR 12-50 Record Series Titles 

b. Viewing the AFR 12-50 Table Titles within a Series 

c. Viewing the Record Titles (Descriptions) within an AFR 
12-50 Table. 

3. STAGING AREA MANAGEMENT - This module is used for: 

a. Maintaining the inventory of the Staging Area 

b. Generating a Disposition List (i.e., what records are due 
for destruction or transfer to a Federal Records Center) 

c. Generating various lists of records held at the staging 

area 

d. Generating a list of records held at a staging area 
affected by a change to AFR 12-50 

4. 12-50 MAINTENANCE - This module is used for: 

a. Adding, deleting or changing rules in the on-line AFR 
12-50 

b. Generating a list of modified tables and rules 

5. FOIA ADMINISTRATION - This module is used for: 
a. Maintaining an on-line FOIA Log 

RIMS Main Menu (continued) 


NARA Automation Survey 41 
Appendix B 


b. Examining the FOIA Log 

c. Examining various histories of FOIA requests 

d. Preparing the AF Form 17 Report 

6. ADMINISTRATION - This module is used for: 

a. Maintaining OR data (e.g.. Office Symbols, clerk and 
custodian names, etc). 

b. Generating a training and SAV schedule from the Office 
Information Data Base 

c. Approving/disapproving File Plans 

7. BACKUP AND RECOVERY - This module is used for: 

a. Backing up all data to the floppy disk. 

b. Restoring data from a floppy disk to the data bases in 
cases of lost or corrupted data. 

c. Reindexing damaged indexes in your data base. 

8. DIFFICULTY REPORTING - This module is used for: 

a. Reporting problems with the RIMS software including the 
users and implementation manual. 

b. Provides user's the capability to forward their 
enhancement ideas. 

9. SYSTEM VARIABLES - This module is used for: 

a. Setting up the colors for the color monitor. 

b. Setting passwords for the 12-50 maintenance module. 

c. Setting passwords for the Administrative Module to 
approve/disapprove file plans. 

RIMS Main Menu (continued) 


NARA Automation Survey 42 
Appendix B 



| RIMS MAIN 

Version: 1.00 

1 MENU | 

1 . 

Files Management 

5. 

FOIA Processing 

2. 

Browse 12-50 

6. 

Administration 

3. 

Staging Area Management 

7. 

Backup & Recovery 

4 . 

12-50 Maintenance 

8. 

Difficulty Reporting 


9. System Variables 


CHOICE: 

( Type 0 to exit to DOS or PGDN for HELP ) 


d. From the FILES MANAGEMENT Menu# select choice 1 "Maintain 
File Plans" by typing 1 at the CHOICE prompt. 



J _files, management 

—i 

1 . 

Maintain File Plans 

5. View/Print Disposition List 

2. 

View/Print Form 80s 

6. View/Print 

Form 135s 

3. 

Print Form 82s 

7. View/Print 

Active Holdings 



reports 


4 . 

Print Folder Labels 





CHOICE: 



( RETURN to back up# 

0 for DOS# PGDN 

for HELP ) 


e. From the MAINTAIN FILE PLANS Menu# select choice 1 "Add Items 
or Create Plan" by typing 1 at the CHOICE prompt. 


NARA Automation Survey 43 
Appendix B 




















Version: 1.00 

| RIMS MAIN MENU [ 

1 . 

Files Management 

5. 

FOIA Processing 

2. 

Browse 12-50 

6. 

Administration 

3. 

Staging Area Management 

7. 

Backup & Recovery 

4 . 

12-50 Maintenance 

8. 

Difficulty Reporting 


9. System 

Variables 


CHOICE: 

( Type 0 to exit to DOS or PGDN for HELP ) 


c. From the BROWSE 12-50 Menu# select choice 1 "See Series 
Titles" by typing 1 at the CHOICE prompt. 



J 

BROWSE 12-50 | 

1 . 

See 

Series Titles Plan Items 

2. 

See 

Table Titles in a Series 

3. 

See 

Record Titles in a Table 


CHOICE: 

( RETURN to back up, 0 for DOS, PGDN for HELP ) 


NARA Automation Suivey 44 
Appendix B 



















__ Version: 1.00 

J _ RIM£_MAIN MENU | 


1. 

Files Management 

5. 

FOIA Processing 

2. 

Browse 12-50 

6. 

Administration 

3. 

Staging Area Management 

7. 

Backup & Recovery 

4. 

12-50 Maintenance 

8. 

Difficulty Reporting 


9. System Variables 


CHOICE: 

( Type 0 to exit to DOS or PGDN for HELP ) 


e. From the STAGING AREA MANAGEMENT Menu, select option 1 
"Maintain Shelf Inventory" by typing 1 at the CHOICE prompt. 


J STAGING AREA MANAGEMENT | 

1. Maintain Shelf Inventory 

2. View/Print Disposition List 

3. View/Print Staged Holdings Report 

4. View/Print 12-50 Modifications Impact Report 


CHOICE: 

( RETURN to back up, 0 for DOS, PGDN for HELP ) 


f. From the MAINTAIN SHELF INVENTORY Menu, select option 1, 
"Enter Boxes" by typing 1 at the CHOICE prompt. 



| MAINTAIN SHELF 

INVENTORY | 

1 . 

Enter Boxes 


2. 

Remove Boxes 


3. 

Update Entries 


4. 

Change the number 

of Shelves 


CHOICE: 


( RETURN to back up, 0 for DOS, PGDN for HELP ) 


NARA Automation Survey 45 
Appendix B 




























g. From the FILL WHICH SHELF? Menu: At the NUMBER prompt, type 
the number for the shelf on which you stored the box 


1 FILL WHICH SHELF? | 

Office Symbol: 

( Press RETURN alone to return to the MAINTAIN SHELF Menu ) 


h. If this shelf currently has a box stored on it, you will 
receive a message telling you that a box has been previously entered 
on the shelf. At the DO YOU WISH TO CONTINUE? prompt, type N to save 
the current contents of the shelf and return to the FILL WHICH SHELF? 
Menu. Type Y to erase the current contents of the shelf and fill it 
with information on a new box. 

i. The Staging Area shelf inventory data entry screen will be 
displayed with the shelf number filled in. If you have previously 
entered a box during this RIMS session, and not backed up past the 
FILL IN WHICH SHELF? Menu, the shelf will be filled with the contents 
of the last shelf you entered. Type or change the information into 
each of the fields for the new box. Press DOWN ARROW to advance the 
cursor to the next field. 


SHELF NUMBER: 1XXXXX) Box J_|_ of J_[ Accession No: i 


Offi ce Ta bl e fr R ule Rg-C£xd_ .Media _ Inclusive Dates 

J_l J_L J_L J_L 

dd/mm/yy - dd/mm/yy 


Cut-Off Yea r 

J_L 

<yy> 


Classification: 


Disposition Date 

J_l 

(mm/yy or P, H, or I) 


Restriction: 


Re cord of Vo lume 

j_r 

(Number of 1/12 cu ft) 


1 = Top Secret 

2 = Secret 

3 = Confidential 

4 = Unclassified 


1 = Q Security Classification 

2 = Top Secret Security Classification 

3 = Secret Security Classification 

4 = Confidential Security Classification 

5 = Restricted Use - Non-witnessed Disposal 

6 = Restricted Use - Witnessed Disposal 

7 = No Restrictions 


( Press PGDN for HELP; ESC to Exit Screen ) 


NARA Automation Survey 46 
Appendix B 








































Files Maintenance & Disposition Control Label 


1. FILES MAINT St DISPOSITION PLAN, 
CTRL RECORD LABEL AND RELATED RCRD 
T 12-01, R 02.00 
Cut-off: MO CY FY N/A 

Office: 3201 ABG/OT 
Disposition Instructions: 

DESTROY WHEN SUPERSEDED, 

OBSOLETE, OR NO LONGER NEEDED 


NARA Automation Sun/ey 47 
Appendix B 


FILES. MAINTENANCE AMD DISPOSITION PLAN 


OFFICE: UNIT: GOVERNING DIRECTIVE(s): 

AD/YQT 

RECORDS CUSTODIAN: JAMES GERKIN, GM-14 

PREPARED BY: DIANA ALLAN , GS-06 DATE PREPARED: 12/05/88 

APPROVED BY: DATE APPROVED: / / 


PAGE NO. 1 
24/06/88 


ITEM TITLE L OC ATION DISPOSITION 

1 FILES MAINT & DISPOSITION PLAN FRONT OF FILES T 12-01 R. 02.00 
CTRL RECORD LABEL AND RELATED RCRD 


2 

3 

4 

5 

6 

8 

9 

11 

12 

13 

14 

15 


SUSPENSE CONTROL SECRETARY’S DESK 

ORDERS CONVERED BY RULES 2-4 SECRETARY’S DESK 

TRANSITORY MATERIAL 
READING FILE 

PRECEDENT FILES - EXTRA COPIES OF 
SELECTED RECORDS 

OFFICE ADMINISTRATIVE FILES - 
INTERNAL ADMIN OR HOUSEKEEPING 


T 

T 

T 

T 

T 

T 


REPORTS, CONTROLLER/UNCONTROLLED - T 

INFO COPIES 


CIVILIAN POSITION DESCRIPTIONS T 

OTHER COPIES 


R&D DOCUMENTATION ALSO IN SAFE T 

FUNDING RECORDS - PROGRAM PROJECT ALSO IN SAFE T 

AND APPROPRIATION CONTROL 

SEC INSP RCRDS (AF FMS 302/OFs 62) POSTED ON/IN SAFE T 
DESTR WHEN SUPERSEDED/NO LGR NEED 


INTERNAL INSPECTIONS/SELF-INSP T 

CHECK LISTS/INVENTORIES 


10-02 R 05.00 
10-03 R 05.00 
10-03 R 04.00 

10- 01 R 05.00 

11- 01 R 09.00 

11-01 R 01.00 

11-01 R 08.00 

80-02 R 02.00 

80-02 R 05.00 
172-03 R 04.00 

205-01 R 06.00 

11-02 R 33.00 


NARA Automation Survey 48 
Appendix B 







Office: HQ AFSC/DAD, Date Prepared: 27/06/88 

Record: FREEDOM OF INFO ACT PROCRAM/DENIALS - NOT APPEALED 


Box Count: 2 

Cut off date: 31/12/87 Inclusive Dates: 1 Jan - 31 Dec 87 

Table and Rule: R 12-01 R 26.00 Restriction: N Classification: U 

COMMENTS: 


IMARA Automation Survey 49 
Appendix B 



DEC DISPOSITION LIST 
Office: AD/PMK 

RECORDS CONTAINED IN THIS REPORT ARE ACCUMULATED ON EITHER 
A FISCAL YEAR (FY) OR CALENDAR YEAR (CY) BASIS 


RETENTION 

ITEM TITLE LOCATION TABLE & RULE PERIOD 

** READY FOR INACTIVE STAUS ON FIRST OF NEXT MONTH 


3 

TRANSITORY MATERIAL 



T 

10-01 

R04.00 

3 

MONTHS 

4 

READING FILE 



T 

10-01 

R05.00 

1 

YEAR 

6 

OFFICE ADMINISTRATIVE FILES - 
INTERNAL ADMIN OR HOUSEKEEPING 



T 

11-01 

R01.00 

2 

YEARS 

40 

FAVORABLE COMMUNICATIONS 



T 

895-01 

R15.00 

1 

YEAR 

55 

OUTSTANDING PERSONNEL PROGRAMS 



T 

895-01 

R16.00 

1 

YEAR 

86 

CIAPS - BASE PROCUREMENT MGMT 

SEE 

ITEM 

T 

70-16 

R03.00 

3 

YEARS 


RPRTS MTHLY PROCUREMENT 

SUMMARIES 

85 







87 

CIAPS - MO-REPLY, MONTHLY 
CONTRACT MARKET, RELATED 85 
CORRESPONDENCE 

SEE 

ITEM 

T 

70-16 

R04.00 

3 

MONTHS 

88 

CIAPS - PURGED PURCHASE 

SEE 

ITEM 

T 

70-16 

R06.00 

6 

MONTHS 


REQUISITIONS, RECORDS Sc ITEMS 

85 







89 

CIAPS - TRANSACTION LOGS-BASE 

SEE 

ITEM 

T 

70-16 

R07.00 

1 

YEAR 


PROCUREMENT, VENDOR PERFORMANCE 

85 







90 

CIAPS - RECONCILIATION ACTION 



T 

70-16 

R09.00 

4 

MONTHS 


LIST CUSTOMER NOTICES & STAUS 
TRANSAC 


NARA Automation Survey 50 
Appendix B 




STAGED RECORD HOLDINGS BY SHELF 


SHELF TABLET AND RULE 


101 

T 

- 

R 0.00 

102 

T 

11-01 

R01.00 

103 

T 

- 

R 0.00 

104 

T 

12-01 

R26.00 

105 

T 

12-01 

R26.00 

106 

T 


R 0.00 

107 

T 

- 

R 0.00 

108 

T 

- 

R 0.00 

109 

T 

- 

R 0.00 

110 

T 

- 

R 0.00 

111 

T 

- 

R 0.00 

112 

T 

-' 

R 0.00 

113 

T 

- 

R 0.00 

114 

T 

- 

R 0.00 

115 

T 

- 

R 0.00 


*** Total *** 


CUT INCLUSIVE CLASS, 
OFF DATES RSTRCT 


88 

JAN 

- DEC 

U,N 


88 



90 

JAN 

88 

U,N 

89 

JAN 

- DEC 

U,N 


87 



86 

JAN 

- MAR 

U,N 


87 



86 

APR 

- MAY 

U,N 


87 



0 



t 

0 



f 

0 



9 

0 



9 

0 



9 

0 



9 

0 



9 

0 



9 

0 



9 

0 



9 


RECORD 


BOX 

OP 

VOLUME 

MEDIA 

1 

3 

1 

PAPER 

2 

3 

12 

PAPER 

3 

3 

3 

PAPER 

1 

50 

2 

PAPER 

4 

104 

3 

PAPER 

0 

0 

6 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 

0 

0 

0 

PAPER 


27 


ACCESS. 

NUMBER 


NARA Automation Survey 51 
Appendix B 






TRAINING AND SAV SCHEDULE FOR 
3201 SPS 


OFFICE SYMBOL 

AND CUSTODIAN'S NAME/ 

PHONE NUMBER CLERK'S NAME 


RM SAVl FARM SAVt DT TRAINED 
LAST SAV/ LAST SAV/ LAST TRND/ 
DUE DATE DUE DATE DUE DATE 


3201 SPS 

SHERI K. VINCENT 

/ 

/ 

14/05/87 

/ / 

2-5900 


/ 

/ 

04/11/88 

/ / 

3201 SPS/IMA 

WILLIAMS, GARRY N. 

/ 

/ 

25/03/86 

/ / 

882-5217 

RUXER, TIMOTHY 

/ 

/ 

16/09/87 

/ / 

3201 SPS/SP 

BERNARD R. BOUCEK 

/ 

/ 

19/11/85 

01/11/80 

882-2310 

JANET E. REAGLE 

/ 

/ 

13/05/87 

25/04/82 

3201 SPS/SPA 

RUSSELL C. HAGAN 

/ 

/ 

14/05/87 

17/12/85 

882-2355 

RUBI K. THOMPSON 

/ 

/ 

04/11/88 

10/06/87 

3201 SPS/SPAA 

RICHARD CASTOR 

/ 

/ 

/ / 

26/06/86 

882-3923 

EUCLID RITCHENS 

/ 

/ 

/ / 

18/12/87 

3201 SPS/SPAR 

R.Q. BRYANT 

/ 

/ 

14/05/87 

26/06/86 

882-3442 

MARY D. WILKINSON 

/ 

/ 

04/11/88 

18/12/87 

3201 SPS/SPAS 

RICHARD A. JOHNSON 

/ 

/ 

13/05/86 

02/03/87 

882-5259 

JEFFREY L. BAER 

/ 

/ 

04/11/87 

23/08/88 

3201 SPS/SPO 

CHARLES H. TAYLOR 

/ 

/ 

21/03/86 

01/06/85 

882-3215 

CONNIE S. FORTENBERR 

/ 

/ 

12/09/87 

23/11/86 

3201 SPS/SPOC 

BRUCE BEHRINGER 

/ 

/ 

13/05/86 

02/03/87 

882-3627 

BRUCE BEHRINGER 

/ 

/ 

04/11/87 

23/08/88 

3201 SPS/SPOD 

STEVEN R. PITT 

/ 

/ 

/ / 

/ / 

882-8051 

TIMOTHY S. BROWN 

/ 

/ 

/ / 

/ / 

3201 SPS/SPOI 

DRISCOLL OGLESBY 

/ 

/ 

/ / 

/ / 

882-5360 

MARILYN GIBSON 

/ 

/ 

/ / 

/ / 

3201 SPS/SPPA 

JAMES M. BARTOS 

/ 

/ 

/ / 

/ / 

882-5215 

GLORIA GATES 

/ 

/ 

/ / 

/ / 

3201 SPS/SPPT 

AZIE B. HORNE 

/ 

/ 

/ / 

/ / 

882-2069 

MICHAEL K. BRIDWELL 

/ 

/ 

/ / 

/ / 

3201 SPS/SPPX 

GARRY N. WILLIAMS 

/ 

/ 

/ / 

03/03/87 

882-5217 

JOHN D. HENSLEY 

/ 

/ 

/ / 

24/08/88 

3201 SPS/SPQ 

ROY L. COLLINS 

/ 

/ 

13/05/86 

/ / 

882-2466 

JOHN PASSALACQUA 

/ 

/ 

04/11/87 

/ / 

3201 SPS/SPU 

BERNARD R. BOUCEK 

/ 

/ 

14/05/87 

/ / 

882-5900 

CAROL LOGSDON 

/ 

/ 

04/11/88 

/ / 


NARA Automation Survey 52 
Appendix B 




How To Use the Decision Logic Table. 


(L) The first number in the table number is based on the 
series number in AFR 5-4, Numbering Publications, 
which prescribes the creation or maintenance of the 
records listed in the table. The second number is 
assigned for control purposes only, to indicate the num¬ 
ber of the table within a series, and does not correspond 
or relate to the same sequential numbered Air Force 
publication. For example, in table 10-1, 10 refers to the 
10 series publication and 1 is the first table in the 10 
series decision logic tables. The tables are arranged in 
numerical sequence by these numbers. 

The table title identifies the subject matter included 
in the table. 

(3^ The column headings are assigned alpha designators 
so that each column may be quickly and accurately ref¬ 
erenced in either written or oral communications. 

(4^ Column A provides a general description of the 
records covered. Read down column A until you come 
to the category of records required. 

Column B is a further general description of the 
records identified in column A. These descriptions also 
cover general categories of forms and reports. Deter¬ 
mine what portion of the description applies to your 
particular situation. Use AFRs 0-9 and 0-12, and com¬ 
mand 0-9s, to determine the prescribing directive for 
specific forms. A review of the DLTs in the same sub¬ 
ject series should provide a general description of the 
forms, reports, or other records of the series. 

(6?) Column C may indicate an organization or level of 
command where the records are filed; if not, the rule 
applies to any level accumulating the records described, 
and column C is left blank. (NOTE: As used in this 
regulation, major subordinate command refers to head¬ 
quarters of an activity between a major command and 
subordinate elements to which authority has been 
delegated to initiate and promulgate policies and pro¬ 
cedures or to exercise managerial control for a major 
segment of an Air Force- or command-wide function. 
This includes headquarters of numbered Air Forces, 
areas, regions, and comparable levels, and level code 3 
in AFM 20-3.) 

fy Column C may indicate a specific copy. If not, the 


rule applies to all copies, regardless of their location, 
except copies required by other directives to be given to 
individuals concerned or filed in personnel records. 

(8^ Column D provides appropriate disposition instruc¬ 
tions, based on conditions in columns A, B, and C. 

(5!) Column D may refer to another table or rule for 
disposition. If so, cite the referenced table and rule on 
AF Forms 80 and 82. 

(fo) An asterisk with the rule number indicates a new 
rule or a change in disposition authority (column D), or 
any major change in columns A, B or C. 

(NOTE: References in column D of DLTs to 
'NPRC (MPR),' 'NPRC (CPR),' and 'WNRC' 
refer to records centers indicated in volume I, 
attachment 1, paragraphs 1, 2, and 6, respectively. 

Use full name and geographical address, as indi¬ 
cated in volume I, attachment 2, when shipping 
records or corresponding with those centers.) 

•NOTES. Explanatory notes or lengthy exceptions may 
be added to the end of a table as notes. When notes are 
referenced in a table title or rule, they are a part of the 
title or rule, and must be considered in applving the 
disposition standard(s). 

•Records Common to All or Several Functional Areas. 
General correspondence files are covered by table 10-1, 
whether permanent or temporary, and pertain to all 
functional areas. Other records common to all or 
several functional areas, or for which there is no specific 
prescribing directive, are in the 10- or 11-series DLTs. 

•Citing DLT References. On AF Forms 80 and 82, cite 
the exact table and rule number which provides for the 
disposition of each series of records listed. Abbreviate 
by indicating *T* for table, and 'R' for rule (for exam¬ 
ple, T10-1, R4). In correspondence, or other oral or 
written communications, cite specific table and rule 
number (for example, table 10-1, rule 4) and, if neces¬ 
sary, specific column (for example, 4A, 4D). 

•Cutoff Dates. Cutoff dates, indicated in volume I, chart 
4-1 are used unless otherwise indicated in the DLTs. 


NARA Automation Survey 53 
Appendix B 


Decision Logic Table. 


TABLE 34-1 


© 


PERSONNEL SERVICES 


0 


R 

A © 

B 

C 

D 

U 

L 

E 

If the records art 
or pertain to © 

consisting of © 

which art © 

then © 

1 

moral and welfare 
program planning 

studies, directives, and analyses reflecting organi¬ 
zation of programs, and conduct and result of 
program activities 


see table 213-1. 

© 

2 

support for religious, 
morale, welfare, and 
recreation facilities 
and activities 

supply records; fund budgets (see note) 


see table 215-1. 

3 

professional enter¬ 
tainer records 

locator cards for professional entertainers of for¬ 
eign nationality performing in overseas military 
establishments 


see table 215-1. 

4 

private organizations’ 
(PO) records 

constitutions and by-laws, charters or articles of 
agreement, legal reviews by Judge Advocates, 
commander’s approval to operate on base, bien¬ 
nial review waivers and related papers 

at responsible staff of¬ 
fices as designated by the 
installation commander 

© 

destroy 1 year after discon¬ 
tinuance of the PO (see note). 

5 


minutes of meetings and monthly financial state¬ 
ments 


destroy after 1 year or when 
no longer needed, whichever 
is sooner (see note). 

5.1 

© 

Private organizations' 
(PO) records of types 

2 and 3 POs as de¬ 
scribed in APR 34-4 

financial audits and reviews 


destroy after 1 year or when 
no longer needed, whichever 
is sooner. (Exception: Retain 
the most recent for 1 fiscal 
year following discontinuance 
of the PO, then destroy.) 

6 

reports on applica¬ 
tions for vending 
stand locations 

reports required by AFR 34-2 identifying num¬ 
ber of applications for vending stand locations 
received from state licensing agencies; number 
accepted, denied, and still pending, as pertains to 
applications from blind persons 

at HQ AFMPC/DPMSC 

destroy after 3 years. 

7 



at MAJCOMs and inter¬ 
mediate commands 

destroy after 3 years 

S 



at installations 

destroy after 2 years. 


NOTE: Records maintained by private organizations axe disposed of as prescribed by the organizations' charter/bylaws (see volume I, paragraph 
3-lb.) 


NARA Automation Survey 54 
Appendix B 






























Bureau of Labor Statistics 


Screens 

System Logo 
RCDSS Main Menu 

System Reports Sample 

Transferring a Record Series to a FRC 

History Report 

Summary of Records Holdings 

Records Management Pending Disposition Report 
Items for Destruction 
Items for Archival Action 


NARA Automation Survey 55 
Appendix B 



RCDSS Main Mem 


The RCDSS Main Menu (Figure 6) directs the user to select one option by entering the 
number corresponding to the desired feature. From this menu various subordinate menu are 
displayed. Returning from these subordinate menus brings the user back to the Main Menu. 
Exiting the RCDSS System is done from this menu by entering 0. 


Monday RCDSS - flainflenu May 20. 1931 


1 - RS Database Functions 

2 - Transactions 

3 - BLS Organization Table 

4 - Reports 

5 - Utilities 

6 - Select Transaction Year 
0 - Return to DOS 

| - Select One 


Figure 6: RCDSS MAIN MENU 


Selections : 

1 RS Database Functions. 

This selection takes the user to the Record Series Menu which allows the user to 
Add, Delete, Modify, View and Print RS Database records. Section 3.3.2 
discusses these functions. 

2 Transactions. 

This selection takes the user to the Transaction Menu which allows the user to 
Add. Delete. Modify, View and Print Transaction Database records and create an 
SF-135 Package. Section 3.3.3 discusses these functions. 


NARA Automation Suivey 56 
Appendix B 





3 BLS Organization Tabic. 

This selection takes the user to the Organization Table Menu which allows the 
user to Add. Delete, Modify, View and Print BLS Organization Database records. 
Section 3.3.4 discusses these functions. 

4 Repons. 

This selection takes the user to the Repon Generation Menu which allows the user 
to Print the Summary of Record Holdings Repon, Historical Repon and 
Disposition Reports. Section 3.3.5 discusses these report generation features. 

5 Utilities. 

This selection takes the user to the RCDSS Utilities Menu which allows the user 
to Backup/Restore/Reindex RCDSS Databases, Change Password and Year End 
Update Date, Format Diskettes and Shell to DOS. Section 3.3.6 discusses these 
features. 


6 Select Transaction Year. 

This selection allows the user to select a current or create a new transaction year 
to work in. All functions initiated from the Transactions Menu operate against the 
selected transaction year. A transaction year must be selected before any of the 
first four selection may be made. Section 3.3.7 discusses these features. 

0 Return To DOS. 

This selection exits the RCDSS System. 

Function Keys : 

No Function Keys are enabled for this menu 
Sample User Action : 

Type the number corresponding to the desired function in the entry field. Only numbers 
0 - 6 are valid entries. 

System Response : 

If options 1 - 5 are selected the System will display the corresponding menu shown in 
Figures 7 on page 17, 20 on page 41, 34 on page 67, 43 on page 80 or 53 on page 95 
respectively. 

If option 6 is selected the System will display the Transaction Year Selection screen 
shown in Figure 62 on page 108. 

If option 0 is selected the user will exit the RCDSS System. 


NARA Automation Survey 57 
Appendix B 





-1205 Suitlana Roaa 


Suit!and, 

Karen Nun'iey 

Mary'i and 

20409 

11/13/91 

U.S. Department of Lao 
Bureau of Laoor Sta s 
Division of Admin. Ser 

Chief, 8r. of Recoros Mgec. 

ano General Services 


Room 2051, G.A.O Buila 
441 G Street, N.W. 

Marcia L.8. Hill 


(202) 

523-1468 

Washington D.C. 20212 

Hg«t. Analyst, Br. of Rec. Aget. & General 

Service 




257 91 0020 1 Contract Billing and Invoice File. Item 253 

N1-257-88-01 

1 Seotember 21, 1 986 - August 29, 1 987 N 01/1. 

Contract 4-0108 

OFFICE OF TECHNOLOGY AND SURVEY 
PROCESSING 

DIRECTORATE OF TECHNOLOGY ANC 1 

COMPUTING SERVICES 
DIV. OF SYSTEM DESIGN 

Contact Gwenn Harllee, OTSP 

Division of Systems Design 
523-1975 


NARA Automation Survey 58 
AooencfixB 




NARA Automation Survey 59 
Appendix B 


BUREAU OF LABOR STATISTICS 
HISTORY REPORT FOR THE 

OFFICE OF THE ASSISTANT OOMMISIONER FOR SURVEY PROCESSING 
DIV. OF FEDERAL/STATE MONTHLY SURVEYS 








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NARA Automation Survey 60 
Appendix B 


Bureau of Labor Statistics 
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NARA Automation Suivey 61 
Appendix B 


BUREAU OF LABOR STATISTICS 
RECORDS MANAGEMENT RENDING DISPOSITION REPORT FOR 
OFFICE OF EMPLOYMENT AND UNEMPLOYMENT STATISTICS 
OFFICE OF THE CHIEF. OEUS 









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NARA Automation Survey 62 
Appendix B 


BUREAU OF LABOR STATISTICS 
RECORDS MANAGEMENT PENDING DISPOSITION REPORT FOR 
OFFICE OF EMPLOYMENT AND UNEMPLOYMENT STATISTICS 
OFFICE OF THE CHIEF, OEUS 



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NARA Automation Survey 63 
Aopendix B 


Environmental Protection Agency 
Sample of System Generated SF 135 








































NARA Automation Survey 64 
Appendix B 





























Appendix C: Summary Table 


NARA Automation Survey 65 
Appendix C 




NARA Automation Survey 66 
Appendix C 


Bureau of Reclamation (BOR) 
Tennessee Valley Authority (TV A) 
Bureau of Labor Statistics (BLS) 
Federal Bureau of Investigation (FBI) 



NARA Automation Survey 67 
Appendix C 


RECORDS MANAGEMENT AUTOMATION SURVEY - SUMMARY TABLE 
























































NARA Automation Survey 68 
Appendix C 

U.S. GOVERNMENT PRINTING OFFICE : 1994 O - 152-521 : QL 3 








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